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2018 AWARD NOMINATIONS OPEN!

InvestmentNews is now accepting nominations for its inaugural Excellence in Diversity & Inclusion Awards, celebrating individuals, advisory firms, industry partners and institutions for their work around diversity and inclusion initiatives. The deadline for nominations has been extended to May 1, 2018.

AWARDS FOR INDIVIDUALS

See It, Be It Role Models

An individual financial adviser, or industry professional supporting advisers, who has been an effective role model for individuals and brings diversity to the financial advise profession. Judges will consider demonstrations of leadership, business achievements and examples of being a role model or inspiring others from diverse backgrounds to succeed in the financial advice profession.

Nominees must currently be working as financial planners, registered representatives or registered investment advisers, or as industry professionals in a role that supports financial advisers.

Lifetime Achievement

An individual financial adviser, or industry professional supporting advisers, who has increased diversity in the profession and demonstrated outstanding leadership. Judges will consider management, team development, business achievement and commitment to fostering diversity and inclusion in the financial advice profession. For instance, a candidate may have acted as a mentor to those with diverse backgrounds and later implemented a formal mentorship program at his or her firm or through a membership organization to further advance the diversity and inclusion cause.

Nominees must currently be working as financial planners, registered representatives or registered investment advisers, or as industry professionals in a role that supports financial advisers. These individuals should have effected change through creative and specific solutions and have a demonstrated history of supporting diversity and inclusion in the industry for at least 10 years.

Rising Star

An emerging leader in the financial advice industry who is in the early stages of his or her career but shows exceptional growth in contributions to the profession. This individual already has demonstrated leadership qualities and is expected to be a driving force to building diversity and an inclusive culture in the financial advice profession. For instance, an individual who developed a hiring process that focuses on adding diverse candidates to the pool of interviewees and interviewers.

Nominees must currently be working as financial planners, registered representatives or registered investment advisers, or as industry professionals in a role that supports financial advisers. These individuals should have worked for less than 10 years in their financial services career.

AWARDS FOR FIRMS & INDUSTRY PARTNERS

Outstanding Practices

Recognizes internal firm initiatives specifically developed to increase diversity and inclusion among firm leadership and the broader employee base through improved recruitment, education, training and retention of diverse individuals. The initiatives recognized will have demonstrated results showing a transformation of the organizational makeup or culture of the firm through the inclusion of diverse groups.

Nominees must be registered investment advisory firms, independent broker-dealer affiliates or branch offices of a wire house, insurance firm or brokerage in good standing with state and federal securities regulators.

Outstanding Outreach

Recognizes external firm initiatives specifically developed to increase outreach and marketing to incorporate increased diversity of clients, especially those who have traditionally been ignored by financial service professionals. The programs recognized will have changed the profile of the firm’s client base or impacted diverse communities that are most in need of financial advice and least able to afford it.

Nominees must be registered investment advisory firms, independent broker-dealer affiliates or branch offices of a wire house, insurance firm or brokerage in good standing with state and federal securities regulators.

Diversity Champions

Recognizes firms that work with or support the financial adviser community, such as broker-dealers, custodians, asset managers, insurance firms, fintech companies, educational institutions and other industry organizations, for their efforts to foster diversity and inclusion within their own firms or within the financial advice profession. These awards can recognize a firm’s internal program to improve diversity, an external campaign to improve financial literacy among diverse groups, published research or other writings showing the impact of diversity and inclusion, or other successful efforts to advance diversity and inclusion in the financial advice business.

Key Dates and Deadlines

• August 6, 2018: Award winners will be profiled in InvestmentNews’ print publication and on the publication’s website

• Oct. 9, 2018: Award winners will be celebrated at a luncheon in New York City

Frequently Asked Questions

How can I nominate someone for a Diversity & Inclusion Award?

By filling out our online survey. Nominations must be submitted using the web form.

Can I nominate people who aren’t financial advisers?

Yes, as long as the majority of their work is in and for the financial advisory industry.

How many people can I nominate?

There is no limit.

When does the nomination process end?

May 1, 2018.

When will the winners be notified

Around June 4, 2018.

Where and when will the winners of the Diversity & Inclusion awards be published?

In the August 6, 2018, issue of InvestmentNews and in online stories posted around that date.

How will the nominees be judged? Who chooses the final list?

The nominees will be judged according to specific criteria listed in the application. InvestmentNews staff will choose the individual winners, and the InvestmentNews Diversity & Inclusion Advisory Board will choose the winners of the firm awards.

Do I have to include the nominee’s age and assets under management?

Yes. If a nominee is picked, the profile we write may mention the age of the individual and assets under management. If your nominee is not an adviser, please choose “not applicable” from the dropdown menu for assets under management.

Can I just call or send an email with the name of the person I would like to nominate?

No. Only those firms and individuals nominated through the web form will make it into the selection database.

Can I nominate someone anonymously?

No. We need to know who you are so we can contact you if needed, but we will not share nominator information with any third party or include it anywhere in the published features.

Are there rules about whom I can nominate?

You can nominate yourself, a client, a family member, your boss, an employee or an acquaintance. The most important thing is that you state a clear case for the nomination based on the criteria we are seeking.

Will more than one nominee from the same company be accepted?

You may nominate multiple people from one company, but because of our goal of finding a diverse group, only one nominee per company will likely be chosen. However, multiple candidates from separate divisions of large conglomerates could be chosen.

What is required of those who are selected?

Individuals and firms that are selected for these awards must make someone available for a phone interview with a reporter. They also will need to provide a high-resolution photo and may be asked to sit for a photo shoot or a video interview.

When and where will the awards luncheon take place?

The awards luncheon will be held on Oct. 9, 2018, in New York City.

Can I contact you to see how my nominee is doing in the judging process?

No. We don’t give status reports on nominations. If we need any further information, we will contact you. We ask that you please be patient.